CHAPTER 9.0 STTR Proposal Preparation Instructions for Phase I and Phase II
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9.1 Contact NSF
9.2 Considerations
9.3 General Requirements for Phase I Proposals
9.4 Proposal Cover Page and Project Summary
9.5 STTR Phase I Proposal Instructions
9.6 STTR Phase II Proposal Instructions
9.7 Model Format for Written Cooperative Agreement
9.8 Check Lists
9.1 Contact NSF. Questions about the NSF STTR Program should be directed to the STTR Program Manager at the following address: STTR Program Office, National Science Foundation, Room 550, 4201 Wilson Blvd., Arlington, VA 22230, telephone (703) 306-1390 or by email at sbir@nsf.gov
9.2 Considerations. Reference Chapter 3.0, sections 3.1.2, 3.1.3, 3.1.4, 3.1.5
9.3 General Requirements for Phase I Proposals.
9.3.1 Page Limitation. Reference Chapter 3.0, section 3.2.1
9.3.2 Type Size and Spacing. Reference Chapter 3.0, section 3.2.2
9.3.3 Requirement Format. Reference Chapter 3.0, section 3.3. The following forms are required for preparing a STTR Phase I proposal.
Proposal Cover page and Certification Page (Attachment B-STTR and Certification Page).
1. Project Summary (Attachment C).
2. Information about Principal Investigators/Project Directors (Attachment A).
3. Technical Proposal in 12 parts (Chapter 3, Section 3.5) including graphics and starting at page 3 with a table of contents.
4. Summary Proposal Budget (Attachment D) and Budget Explanation Page (a separate Budget/Attachment D and Budget Explanation Page is also required for each subawardee).
5. Company Commercialization History (Chapter 3, Section 3.5,Part 12)
Phase I proposals must be presented within the 25-page limitation. The following do not count towards the page count:
· Certification Page.
· The Information about Principal Investigator/Project Directors.
· The Budget Instruction Page.
· The Company Commercialization History.
9.4 Proposal Cover Page and Project Summary. Reference Chapter 3.0, section 3.4
9.4.1 Page 1: Proposal Cover Page and Certification (NSF Form 1207). Reference Chapter 3.0, Section 3.4.1. Use Attachment B-STTR and Certification Page for STTR Phase I proposals.
9.4.2 Page 2: Project Summary (NSF Form 1304). Reference Chapter 3.0, Section 3.4.2. The Project Summary should begin as follows: "This Small Business Technology Transfer Phase I project..."
9.4.3 Information about Principal Investigator/Project Directors (NSF Form 1225). (Attachment A) Reference Chapter 3.0, Section 3.4.3.
9.5 STTR Phase I Proposal Preparation Instructions. The technical proposal shall contain the following parts in the following order. (Note: Parts that are not applicable must be noted as "Not Applicable".)
Part 1. Table of Contents. Page 3, reference Chapter 3.0, Section 3.5, Part 1.
Part 2. Identification and Significance of the Innovation. Make a clear statement of the specific research problem or opportunity addressed and its importance. For further information reference Chapter 3.0, Section 3.5, Part 2.
Part 3. Phase I Research Objectives. Reference Chapter 3.0, Section 3.5, Part 3.
Part 4. Phase I Research Plan. Reference Chapter 3.0, Section 3.5, Part 4. Describe the Phase I research plan in detail.
· Indicate what is planned and how the research will be carried out.
· Include a technical discussion of the proposed concept, the methods planned to achieve each objective or task, and the sequence of experiments, tests and computations.
· Link the objectives and the questions which the Phase I research effort is designed to answer.
· Specifically address the amount and type of work to be performed both by the small business concern and by the research institution and describe the necessary cooperation, coordination, and complementarity.
· List key personnel involved in the project and describe the programmatic and fiscal arrangements for the cooperative research.
Part 5. Commercial Potential. Reference Chapter 3.0, Section 3.5, Part 5.
Part 6. Company Information and Management Team. Reference Chapter 3.0, Section 3.5, Part 6.
Part 7. Consultants and Subawards. Reference Chapter 3.0, Section 3.5, Part 8.
Part 8. Equipment, Instrumentation, Computers and Facilities. Reference Chapter 3.0, Section 3.5, Part 8.
Part 9. Equivalent or Overlapping Proposals to other Federal Agencies. Reference Chapter 3.0, Section 3.5, Part 9
Part 10. Current and Pending Support of Principal Investigator, Research Institution Investigator and Senior Personnel. Provide information about all research to which the Principal Investigator, the Research Institution Investigator, and other senior personnel have committed time for the period of performance under an STTR grant, whether or not salary for the person involved is included in the budgets of the various projects. Reference Chapter 3.0, Section 3.5, Part 10 .
Part 11. Written Cooperative Agreement. The Written Cooperative Agreement should be provided to NSF with the Phase I proposal. If the Agreement has not been signed at the time the proposal has been submitted, the negotiation process should be underway and a statement to that effect must be provided to NSF with the Phase I proposal. When an award is being considered, the signed Agreement MUST be provided to NSF upon request.
The Agreement between the small business concern and the research institution must cover the allocation of intellectual property rights, if any, to carry out follow-on research development, or commercialization.
A model agreement relating to these issues is provided in Section 9.7. This model is for guidance only and may be modified by the parties. The Agreement must contain the signatures of an official of the small business concern and an appropriate official of the research institution.
By signing the proposal, the official of the small business concern certifies that the agreement negotiated with the research institution is satisfactory to the small business concern.
Part 12. Summary Proposal Budget. (Attachment D) In the STTR Program, research is to be conducted jointly by a small business concern and a nonprofit research institution. Not less than 40 percent of the work conducted under an STTR award must be performed by the small business concern, and not less than 30 percent of the work must be performed by the nonprofit research institution. That is, a minimum of 40 percent of the total budget must be allocated to the small business concern, and a minimum of 30 percent of the total budget must be allocated to the cooperating research institution (Chapter 3.0, Section 3.5, Part 11).
· Expenditures for consultants and subcontractors do not count towards the requirement that not less than 40 percent of the work must be performed by the small business concern, and that not less than 30 percent of the work must be performed by the research institution.
· Complete a Form 1030B for the total budget. Phase I estimates must be shown in detail on this form. Funds for the research institution should be shown on G.5. --Subcontracts--of the NSF Summary Proposal Budget.
· Breakouts of the budgets for the small business concern and for the subcontract to the research institution must be provided on separate Form 1030Bs. Proposers are encouraged to use photocopies of Appendix D-1 for these breakouts.
· Purchases of routine analytical or other routine services from commercial sources are not regarded as reportable subcontract activity. For such activity no letter is required. The item-- routine analytical or other routine services--should be reported in the Budget (Appendix D) under Other Direct Costs/Other.
In the Summary Proposal Budget and in the breakout budget for the small business concern, the Principal Investigator and senior personnel employed by the small business concern should be listed by name with their time commitments budgeted in person-months and in dollar amount for the period of performance. In the breakout budget for the subcontracting research institution, the Research Institution Investigator and senior personnel employed by the research institution should be listed by name with their time commitments budgeted in person-months and in dollar amount for the period of performance.
· The budget should reflect cost for work to be done only after the effective date of the award. Any costs incurred prior to the issuance of an award document are at the grantee's own risk.
· The reimbursement rates for consultants are a direct cost which cannot exceed the daily rate paid to an Executive Level IV or equivalent--currently $453 per day. Consultant travel should be shown under the travel category.
· Equipment and foreign travel cannot be included in the Phase I budget. Equipment is defined as an article of non-expendable, tangible property, having a useful life of more than one year and an acquisition cost of $5,000 or more per unit.
· The budget should indicate in general terms the categories of expendable materials and supplies required, with their estimated costs. The breakdown should be more detailed when the cost exceeds $5,000.
· The total budget on line L of Form 1030B (including a fee of up to 7%) must not exceed $100,000 for the Phase I proposal.
· Reasonable fees (estimated profit) will be considered under both phases of the solicitation. The amount of the fee included in the proposed budget will not exceed 7 percent of total project costs. Cost-sharing is permitted; however, it is not required nor will it be a factor in the evaluation of a proposal.
· The small firm and the research institution should submit separate copies of NSF Form 1030B. Each organization should have their own principal investigator and appropriate organizational representative sign Form 1030B.
· Budgets for travel funds must be justified and related to the needs of the project. Travel expenses for attendance at technical conferences are not permitted unless the conference directly relates to the project.
· Tuition costs are not considered research or research and development. Accordingly, they are not acceptable costs and should not be included in the budget.
Part 13. Prior SBIR/STTR Phase II Awards. Reference Chapter 3.0, Section 3.5, Part 12.
PHASE II INSTRUCTIONS
In general STTR Phase II proposals follow the format of SBIR Phase II proposals (reference Chapter 10.0).
9.6 STTR Phase II Proposal Instructions. The objective of Phase II is to continue the R/R&D effort from Phase I. Only NSF STTR Phase I awardees may compete for NSF STTR Phase II projects. The STTR Phase II proposals have fixed dates, reference the Table of Deadlines. Section 6.3.
9.6.1 Phase II Proposal Contents. In general, STTR Phase II proposals follow the format of STTR Phase I proposals (reference Chapter 9.0, Section 9.5). The Phase II proposal is limited to a total of 35 consecutively numbered pages (single- or doubled-spaced). Phase II proposals shall be addressed in the following "Part" order listed.
Part 1: Phase II Proposal Cover and Certification. (Attachment F-STTR and Certification Page) Reference Chapter 3.0, section 3.4.1. The performance period for STTR Phase II cannot exceed 24 months. The Phase I award number shall be included on the cover page.
Part 2: Project Summary. (Attachment C) Reference Chapter 3.0, section 3.4.2. The summary should begin as follows: "This Small Business Innovation Research Phase II project ..."
Information about Principal Investigator/Project Directors (NSF Form 1225). (Attachment A) Reference Chapter 3.0, Section 3.4.3.
Part 3. Table of Contents.
Part 4. Results of the Phase I Project. Briefly describe how Phase I has proven the feasibility of the innovation, provided a rationale for both NSF and commercial applications, and demonstrated the ability of the proposer to conduct R/R&D.
Part 5. Phase II Technical Objectives, Approach, and Work Plan. Define the specific technical objectives of the Phase II research and technical approach to meet these objectives. Provide a work plan defining specific tasks, performance schedules, milestones, and deliverables.
Part 6. Company Information. Reference Section 3.5, Part 6.
Part 7. Management Team. Identify the key personnel for the project, confirm their specific availability for Phase II, and discuss their qualifications in terms of education, work experience, and accomplishments that are relevant to the project. For any PI who is an employee of an academic or non-profit organization, provide a release statement as described in Chapter 1.0, Section 1.4.4 of this solicitation. Also reference Section 3.5, Part 6.
Part 8. Facilities and Equipment. Discuss requirements for and the availability of equipment, instrumentation, and facilities required for Phase II. If a proposer proposes the use of unique or one-of-a-kind Government facilities, a statement, describing the uniqueness of the facility and it's availability to the proposer at specified times, signed by the appropriate Government Official must be included with the proposal.
Part 9. Consultant and Subaward Agreements. Information on the qualifications of the consultants, their education, experience, any directly relevant publications, and how their efforts will contribute to the proposal. Propers should have in their own file evidence of the commitment of consultants to participate in the project.
In addition, provide a signed statement from each consultant, whether paid or unpaid, confirming his/her availability and time commitment, role in the project, and agreed consulting rate (not to exceed $453 per day).
In the case of subawardee involvement, research other than at the cooperating research institution, the subawardee must furnish a letter signed by an appropriate official describing the programmatic arrangements and confirming its agreed participation in the research along with its proposed budget on an NSF Form 1030A.
For further clarification reference Chapter 3.0, Section 3.5, Part 7.
Part 10. Equivalent or Overlapping Proposals to other Federal Agency. Reference Chapter 3.0, Section 3.5, Part 9.
Part 11. Current and Pending Support of Principal Investigator and Senior Personnel. Reference Chapter, 3, Section 3.5, Part 10.
Part 12. Summary Proposal Budget. (Attachment D) The NSF Summary Proposal Budget page must be used for Phase II proposals and it must show information for the total project. Read the second page of the budget form. Also provide the required explanation of budget items. The proposed costs indicated on the proposal budget should be consistent with the scope of the research effort and must be based on accurate, complete, and current cost or pricing data. Phase II awards are typically up to $450,000 and for up to 24 months. Reference Chapter 3, section 3.5, Part 11 for more information regarding proposal budget preparation.
NOTE, PARTS 13-16 DO NOT COUNT TOWARDS THE PAGE LIMIT
Part 13. Payment Schedule and Project Milestone Chart. This section does not count towards the page limit. A payment schedule and project milestone chart are required components for all Phase II proposals.
Based on the expected utilization of resources and expenditures of funds, if the standard payment schedule as described in the SBIR Phase II Grant General Conditions, Article 6, (https://www.nsf.gov/cgi-bin/getpub?sbirii) is not appropriate, you must provide a list of the number of payments, the percentage amount of each payment, and a brief justification for the departure from the standard schedule (see Chapter 5.0). For complete instructions on preparing the Payment Schedule information and the Project Milestone Chart, reference Chapter 10, section 10.2, Part 13.
Part 14. Commercialization Plan and Follow-On Funding Commitment(s). This section does not count towards the page limit. Reference Chapter 10, section 10.2, Part 14.
Part 15. Written Cooperative Agreement. The Written Cooperative Agreement provided in the Phase I proposal should be updated. Reference Chapter 9, Section 9.7.
Part 16. Company Commercialization History. Reference Chapter 3, section 3.5, Part 12.
9.7 Model Format for Written Cooperative Agreement.
Model Agreement
Small Business Technology Transfer (STTR) Program Allocation Of Rights
In Intellectual Property And Rights To Carry Out Follow-On Research, Development,
Or Commercialization
This Agreement between _____________________________, a small business concern organized as a______________________under the laws of _________________ and having a principal place of business at_________________________________________
______________________________________________________, ("SBC") and
________________________________________, a research institution having
a principal place of business at ________________________________________,
("RI") is entered into for the purpose of allocating between the parties
certain rights relating to an STTR project to be carried out by SBC and
RI (hereinafter referred to as the "PARTIES") under an STTR funding agreement
that may be awarded by the National Science Foundation (NSF) to SBC to
fund a proposal entitled "____________________________________________________________
_______________"submitted, or to be submitted, to NSF by SBC on or
about ________________, 199__.
1. Applicability of this Agreement.
(a) This Agreement shall be applicable only to matters relating to the STTR project referred to in the preamble above.
(b) If a funding agreement for an STTR project is awarded to an SBC based upon the STTR proposal referred to in the preamble above, SBC will promptly provide a copy of such funding agreement to RI, and SBC will make a subaward to RI in accordance with the funding agreement, the proposal, and this Agreement. If the terms of such funding agreement appear to be inconsistent with the provisions of this Agreement, the Parties will attempt in good faith to resolve any such inconsistencies. However, if such resolution is not achieved within a reasonable period, SBC shall not be obligated to award nor RI to accept the subaward. If a subaward is made by SBC and accepted by RI, this Agreement shall not be applicable to contradict the terms of such subaward or of the
funding agreement awarded by NSF to SBC except on the grounds of fraud, misrepresentation, or mistake, but shall be considered to resolve ambiguities in the terms of the subaward.
(c) The provisions of this Agreement shall apply to any and all consultants, subcontractors, independent contractors, or other individuals employed by SBC or RI for the purposes of this STTR project.
2. Background Intellectual Property.
(a) "Background Intellectual Property" means property and the legal right therein of either or both parties developed before or independent of this Agreement including inventions, patent applications, patents, copyrights, trademarks, mask works, trade secrets and any information embodying proprietary data such as technical data and computer software.
(b) This Agreement shall not be construed as implying that either party hereto shall have the right to use Background Intellectual Property of the other in connection with this STTR project except as otherwise provided hereunder.
(1) The following Background Intellectual Property of SBC may be used nonexclusively and, except as noted, without compensation by RI in connection with research or development activities for this STTR project (if "none" so state):_______________________________________________________________________;
(2) The following Background Intellectual Property of RI may be used nonexclusively and, except as noted, without compensation by SBC in connection with research or development activities for this STTR project (if "none" so state): __________________________________________________________________________________________;
(3) The following Background Intellectual Property of RI may be used
by SBC nonexclusively in connection with commercialization of the results
of this STTR project, to the extent that such use is reasonably necessary
for practical, efficient and competitive commercialization of such results
but not for commercialization independent of the commercialization of such
results upon the condition that SBC pay to RI, in addition to any other
royalty including any royalty specified in the following list, a royalty
of __% of net sales or leases made by or under the authority of SBC of
any product or servicethat embodies, or the manufacture or normal use of
which entails the use of, all or any part of such Background Intellectual
Property (if "none" so state): __________________
______________________________________________________________________.
3. Project Intellectual Property.
(a) "Project Intellectual Property" means the legal rights relating to inventions (including Subject Inventions as defined in 37 CFR § 401), patent applications, patents, copyrights, trademarks, mask works, trade secrets and any other legally protectable information, including computer software, first made or generated during the performance of this STTR Agreement.
(b) Except as otherwise provided herein, ownership of Project Intellectual Property shall vest in the party whose personnel conceived the subject matter or first actually reduced the subject matter to practice, and such party may perfect legal protection therein in its own name and at its own expense. Jointly made or generated Project Intellectual Property shall be jointly owned by the Parties unless otherwise agreed in writing. The SBC shall have the first option to perfect the rights in jointly made or generated Project Intellectual Property unless otherwise agreed in writing.
(1) The ownership, including rights to any revenues and profits, resulting from any product, process, or other innovation or invention based on the cooperative shall be allocated between the SBC and the RI as follows:
SBC Percent: ________ RI Percent:__________
(2) Expenses and other liabilities associated with the development and marketing of any product, process, or other innovation or invention shall be allocated as follows: the SBC will be responsible for ___ percent and the RI will be responsible for ___ percent.
(c) The Parties agree to disclose to each other, in writing, each and every Subject Invention, which may be patentable or otherwise protectable under the United States patent laws in Title 35, United States Code. The Parties acknowledge that they will disclose Subject Inventions to each other and the awarding agency within ______ months after their respective inventor(s) first disclose the invention in writing to the person(s) responsible for patent matters of the disclosing Party. All written disclosures of such inventions shall contain sufficient detail of the invention, identification of any statutory bars, and shall be marked confidential, in accordance with 35 U.S.C. §205.
(d) Each party hereto may use Project Intellectual Property of the other nonexclusively and without compensation in connection with research or development activities for this STTR project, including inclusion in STTR project reports to the NSF and proposals to the NSF for continued funding of this STTR project through additional phases.
(e) In addition to the Government's rights under the Patent Rights clause of 37 CFR § 401.14, the Parties agree that the Government shall have an irrevocable, royalty free, nonexclusive license for any governmental purpose in any Project Intellectual Property.
(f) SBC will have an option to commercialize the Project Intellectual Property of RI, subject to any rights of the Government therein, as follows--
1) Where Project Intellectual Property of RI is a potentially patentable invention, SBC will have an exclusive option for a license to such invention, for an initial option period of __ months after such invention has been reported to SBC. SBC may, at its election and subject to the patent expense reimbursement provisions of this section, extend such option for an additional __ months by giving written notice of such election to RI prior to the expiration of the initial option period. During the period of such option following notice by SBC of election to extend, RI will pursue and maintain any patent protection for the invention requested in writing by SBC and, except with the written consent of SBC or upon the failure of SBC to reimburse patenting expenses as required under this section, will not voluntarily discontinue the pursuit and maintenance of any United States patent protection for the invention initiated by RI or of any patent protection requested by SBC. For any invention for which SBC gives notice of its election to extend the option, SBC will, within ___ days after invoice, reimburse RI for the expenses incurred by RI prior to expiration or termination of the option period in pursuing and maintaining (i) any United States patent protection initiated by RI and (ii) any patent protection requested by SBC. SBC may terminate such option at will by giving written notice to RI, in which case further accrual of reimbursable patenting expenses hereunder, other than prior commitments not practically revocable, will cease upon RI's receipt of such notice. At any time prior to the expiration or termination of an option, SBC may exercise such option by giving written notice to RI, whereupon the parties will promptly and in good faith enter into negotiations for a license under RI's patent rights in the invention for SBC to make, use and/or sell products and/or services that embody, or the development, manufacture and/or use of which involves employment of, the invention. The terms of such license will include: (i) payment of reasonable royalties to RI on sales of products or services which embody, or the development, manufacture or use of which involves employment of, the invention; (ii) reimbursement by SBC of expenses incurred by RI in seeking and maintaining patent protection for the invention in countries covered by the license (which reimbursement, as well as any such patent expenses incurred directly by SBC with RI's authorization, insofar as deriving from RI's interest in such invention, may be offset in full against up to of accrued royalties in excess of any minimum royalties due RI); and, in the case of an exclusive license, (iii) reasonable commercialization milestones and/or minimum royalties.
(2) Where Project Intellectual Property of RI is other than a potentially patentable invention, SBC will have an exclusive option for a license, for an option period extending until months following completion of RI's performance of that phase of this STTR project in which such Project Intellectual Property of RI was developed by RI. SBC may exercise such option by giving written notice to RI, whereupon the parties will promptly and in good faith enter into negotiations for a license under RI's interest in the subject matter for SBC to make, use and/or sell products or services which embody, or the development, manufacture and/or use of which involve employment of, such Project Intellectual Property of RI. The terms of such license will include: (i) payment of reasonable royalties to RI on sales of products or services that embody, or the development, manufacture or use of which involves employment of, the Project Intellectual Property of RI and, in the case of an exclusive license, (ii) reasonable commercialization milestones and/or minimum royalties.
(3) Where more than one royalty might otherwise be due in respect of any unit of product or service under a license pursuant to this Agreement, the parties shall in good faith negotiate to ameliorate any effect thereof that would threaten the commercial viability of the affected products or services by providing in such license(s) for a reasonable discount or cap on total royalties due in respect of any such unit.
4. Follow-on Research or Development.
All follow-on work, including any licenses, contracts, subcontracts, sublicenses or arrangements of any type, shall contain appropriate provisions to implement the Project Intellectual Property rights provisions of this agreement and insure that the Parties and the Government obtain and retain such rights granted herein in all future resulting research, development, or commercialization work.
5. Confidentiality/Publication.
(a) Background Intellectual Property and Project Intellectual Property of a party, as well as other proprietary or confidential information of a party, disclosed by that party to the other in connection with this STTR project shall be received and held in confidence by the receiving party and, except with the consent of the disclosing party or as permitted under this Agreement, neither used by the receiving party nor disclosed by the receiving party to others, provided that the receiving party has notice that such information is regarded by the disclosing party as proprietary or confidential. However, these confidentiality obligations shall not apply to use or disclosure by the receiving party after such information is or becomes known to the public without breach of this provision or is or becomes known to the receiving party from a source reasonably believed to be independent of the disclosing party or is developed by or for the receiving party independently of its disclosure by the disclosing party.
(b) Subject to the terms of paragraph (a) above, either party may publish its results from this STTR project. However, the publishing party will negotiate the right of refusal with the other party with respect to a proposed publication, as well as a day period in which to review proposed publications and submit comments, which will be given full consideration before publication. Furthermore, upon request of the reviewing party, publication will be deferred for up to additional days for preparation and filing of a patent application which the reviewing party has the right to file or to have filed at its request by the publishing party.
6. Liability.
(a) Each party disclaims all warranties running to the other or through the other to third parties, whether express or implied, including without limitation warranties of merchantability, fitness for a particular purpose, and freedom from infringement, as to any information, result, design, prototype, product or process deriving directly or indirectly and in whole or part from such party in connection with this STTR project.
(b) SBC will indemnify and hold harmless RI with regard to any claims arising in connection with commercialization of the results of this STTR project by or under the authority of SBC. The PARTIES will indemnify and hold harmless the Government with
regard to any claims arising in connection with commercialization of the results of this STTR project.
7. Termination.
(a) This agreement may be terminated by either Party upon ___ days written notice to the other Party. This agreement may also be terminated by either Party in the event of the failure of the other Party to comply with the terms of this agreement.
(b) In the event of termination by either Party, each Party shall be responsible for its share of the costs incurred through the effective date of termination, as well as its share of the costs incurred after the effective date of termination, and which are related to the termination. The confidentiality, use, and/or non-disclosure obligations of this agreement shall survive any termination of this agreement.
AGREED TO AND ACCEPTED--
Small Business Concern
By: _________________________________________________Date: _____________
Print name: _____________________________________________________________
Title: __________________________________________________________________
Research Institution
By: _________________________________________________ Date: ____________
Print name: _____________________________________________________________
Title: __________________________________________________________________
9.8 Check List. The STTR proposal check list included in this Solicitation (SBIR/STTR Phase I Checklist or SBIR/STTR Phase II Checklist) is provided to assist the proposer in completing a responsive proposal. It should not be submitted with the proposal.